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FINRA Utility Menu

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For the Public

FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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For Member Firms

FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and submit support tickets.

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For Case Participants

DR PORTAL

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

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  1. Rules & Guidance
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FINRA Main Navigation

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Guidance
  • 2017 Exam Findings Report
    Net Capital and Credit Risk Assessments
    December 06, 2017
  • Guidance
    Regulatory Notice 14-12
    March 24, 2014
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    Regulatory Notice 14-06
    February 07, 2014
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    Regulatory Notice 12-58
    December 27, 2012
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    August 08, 2011
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    Regulatory Notice 09-38
    July 15, 2009
  • Guidance
    Regulatory Notice 08-65
    November 04, 2008
  • Guidance
    Regulatory Notice 08-56
    October 15, 2008
  • Guidance
    Regulatory Notice 08-46
    September 05, 2008
  • FAQ
    Portfolio Margin FAQ
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